In 1985 the Bureau's Executive Staff recognized crowding as a material weakness. The crowding rate grew through 1990 to a high of 69% over the Bureau's rated capacity. As of September 30, 2001, the crowding rate was 32% over rated capacity. The Bureau continues to rely on funding for construction and the acquisition of additional facilities to keep pace with a growing inmate population and to gradually reduce our crowding rate, thereby ensuring the manageable operation of the system.

The Bureau's (owned and operated) institution-based population was 130,327 as of September 30, 2001, an increase of 4,767 inmates over the 125,560 inmates housed on September 30, 2000. It should be noted that the total Bureau population (including contract facilities) increased by 11,447 during FY 2001. The FY 2001 increase surpassed FY 2000 by 11 inmates. The population projections were revised during January 2002 based on the Office of Research's analysis of data provided by the Administrative Office of the United States Courts.

We project the population will continue to grow and should reach 196,535 by September 30, 2006. Through the construction of new facilities and expansion projects at existing institutions, our Long Range Capacity Plan projects a rated capacity of 127,185 beds by September 30, 2006. Should new construction and expansion plans continue through FY 2006 as planned, crowding is projected to be 31% over the projected rated capacity.

Increase the amount of beds in the Bureau to keep pace with the projected increases in the federal inmate population. Efforts to reach this goal include expanding existing institutions, acquiring surplus properties for conversion to correctional facilities, constructing new institutions, utilizing contract facilities, and exploring alternative options of confinement for appropriate cases.

To deal with this multi-agency issue, the Department of Justice (Department) created a Detention Planning Committee which, in turn, developed a multi-year Federal Detention Plan. The Department worked with the USMS, INS, and the Bureau of Prisons to update this plan in February 2000. In addition, the Department appointed a Detention Trustee in FY 2001 and established the Office of the Detention Trustee (ODT). The Detention Trustee is now responsible for oversight and management of many multi-agency issues related to detention.

The USMS will maintain and expand the use of state and local jail space through the use of Interagency Agreements (IGAs), the Cooperative Agreement Program, and the recently expanded contract authority for service contracts for contract beds. The USMS also plans to establish detention management and oversight positions at contract jails housing 200 or more USMS prisoners.

The INS will pursue alternatives to detention and less restrictive detention options in the coming years. INS is committed to ensuring that, to the greatest extent possible, detained aliens are placed in facilities appropriate to their background and circumstance. INS will continue to review the management of the Detention and Removal Program via the INS Program for Excellence and Comprehensive Tracking (INSpect) and through the newly created Operations Analysis, Training, and Compliance Division. The scope of the review includes facility issues, security and control, detainee conduct and detainee services, transportation and escort, and docket control.

Regarding milestone #3, INS has created a robust detention bed space projection model, in conjunction with an experienced Department contractor. This model will help INS manage resources and forecast bed space requirements. The model is district based and will assist the INS in the justification of needed staff, budget, and construction requests. These efforts will contribute to the Departmentwide model.

The Department of Justice (Department) is increasingly dependent on automated information systems and their interconnections to achieve its mission and meet the needs of the citizens it serves. Since the Department's computer systems and networks now collect, process, store, and transmit most of the sensitive and classified information used in almost every aspect of the Department, controls must be in place to ensure the availability, integrity, and confidentiality of this information and the reliability of the computer systems and networks. The Justice Management Division (JMD) has responsibility and authority for establishing policy and providing direction and oversight to components with regard to information technology (IT) security.

Computer security has been designated a material weakness since 1991 and continues to be a major focus of senior management attention.

• Under the leadership of the Attorney General's office, JMD has begun an IT strategic planning effort that will, in part, establish the foundation for a departmental security architecture. This effort is consistent with the management goals announced by the Attorney General on November 8, 2001.


• In July 2001, JMD issued a new IT security policy that sets strong Departmentwide standards for component security programs and system security controls.
• JMD has continued to conduct an aggressive program of penetration tests and independent assessments and to carefully follow up on the results. This effort provided the foundation for several components to begin conducting regular penetration testing on their systems, thus enhancing the overall security of these systems.
• Components certified and accredited 83% of Department systems by July 2001. While neither perfect nor complete, this effort enabled the Department to identify weaknesses more systematically and identify and monitor corrective actions. The Federal Bureau of Investigation (FBI) was unable to complete its certification and accreditation (C&A) activities; however, the Department Chief Information Officer (CIO) and the FBI have agreed to a schedule and JMD will continue to monitor their progress.


• JMD has established a database that will assist in tracking and remedying security weaknesses system by system. This database is a single repository of findings and corrective actions identified through C&A activities, audits, penetration testing, and other reviews.


• JMD has integrated security with the Department's capital planning and investment controls processes. This integration has occurred both formally, through the issuance of new policy and guidance, and in practice, through the inclusion of security as an explicit agenda item in internal discussions of IT plans, performance, and funding.


• JMD has identified a list of critical IT, personnel, and physical assets that support the Department's critical infrastructure in support of Presidential Decision Directive-63. This list includes the asset name, location, description, and strategic goal supported; potential impact of loss; and interdependencies. Using the vulnerability reports and independent assessment developed through the C&A activities, JMD completed the critical infrastructure planning vulnerability analysis and is currently finalizing the remedial plan for corrective action.

Department components will have established computer security programs and will have implemented Department policy and guidance.

All Department component systems will continue to be properly certified and accredited and selected major systems and networks will undergo IV&V.

Computer security planning will be integrated into the system development life cycle.

Penetration testing and Inspector General and General Accounting Office audits will not discover significant numbers of weak technical controls or non-compliance with computer security policy.

The CIO has determined that the Department's critical infrastructure planning is adequate.

The INS provided a response to the OIG relating to INS' Management of Automation Programs (OIG Audit Report #98-09). At this time, INS awaits a formal response from the OIG on this audit.

Milestones 1, 2, and 3: Completed.

Milestone 4: INS concurs that an effective mechanism to track cost, schedule, and performance data for the IT projects would provide effective oversight capabilities to monitor and execute the projects in the IT portfolio. In INS' response to the OIG, INS presented the current approach to addressing these issues through use of quad charts and quarterly project management reviews with the portfolio managers and the Department of Justice.

Milestone 5: OIRM is preparing to engage external contractors to review various project management tools that could be procured to meet their requirements. The review will be conducted in FY 2002 and will provide recommendations on approaches to OIRM management. OIRM anticipates identifying, selecting, and implementing a project management tool, if that is the ultimate recommendation of the external review, by the start of 2003. Funds were not available in FY 2001 to accomplish this.

Milestone 6: OIRM is currently executing this milestone. OIRM initiated a project management training program for a group of its project managers to learn the project management body of knowledge. This training program provides critical knowledge on project management principles as defined by the Project Management Institute. It is anticipated that a number of the group members will qualify as certified project management professionals (PMPs) at the conclusion of the training program. The revised target date reflects the time necessary to complete this training program.

Milestone 7 ("Develop multi-year project plans" from last year's report): Deleted. Most of the IT activities are steady-state operations and maintenance requirements for systems or IT operations. Projects in the operations and maintenance phase will not have multi-year project plans associated with them.

Explanation for change in target dates:

Milestones 4 and 5: A clarification meeting was held with the OIG during the second quarter 2001. Preliminary information suggested that the approach to closing Milestone 4 may not be acceptable. However, the OIG indicated it would consider the approach and provide a formal response to INS, once INS delivered its formal response to the OIG. INS awaits the OIG response. However, after the meeting, the Associate Commissioner determined that the organization would move forward to identify an appropriate tool/approach to managing cost, schedule, and performance. This process is in the initial stages, and OIRM will engage its integration contractor to support this effort. The new target date reflects the belief that a tool/approach can be identified, and procurement completed by the end of FY 2002. The goal would then be to implement and use the tool/approach in FY 2003.

Milestone 6: Development of the training program was finalized in the second quarter 2001, and the first course was completed in March 2001. The training program was designed as a full year training program to enable the participants to manage work requirements while they participate in the program. The training program has courses scheduled every 2 months through May 2002.

The automated systems referred to in past Corrective Action Reports are one set of systems now combined under the name ENFORCE.

GAO Recommendation 1: Complete. The Investigations Division established criteria for opening smuggling cases.

GAO Recommendation 2: Complete. A national case tracking and management system, the Criminal Investigative Reporting System (CIRS), is available for installation via the INS intranet, and is part of the umbrella of systems known as ENFORCE. CIRS is a Microsoft Access case tracking and case management software program that agents, supervisors, and program managers use to generate case reports, track the progress of investigations, and manage case work. In day-to-day operations, the CIRS data is uploaded to INS' national ORIONLeads® file server so other INS offices can review case reports and conduct link analysis functions. As the interfaces between other enforcement systems are developed, this data will migrate to the Enforcement Integrated Database (EID). Deployment is on-going globally.

GAO Recommendation 3: As in any law enforcement organization, INS must measure itself by prosecuting, dismantling, or disrupting the on-going criminal enterprises. The INS established a performance measure for FY 2002 of four major anti-smuggling cases focusing on national security issues or terrorism, with three of the four in the Caribbean or South/Central America and one along the northern border of the United States. Further, the INS is working hand in hand with the intelligence community and other federal law enforcement agencies in selecting a working target list of smugglers. INS intelligence continues its measures of program effectiveness which are defined as: the number of personnel trained in intelligence processes; the number of new trans-national smuggling cases identified; the number of investigative leads disseminated; and the number of "special operations" driven by intelligence. In specific reference to alien smuggling, INS will measure shifts in the smuggling corridors using reported smuggling fees in a timeline comparison, with an overlay of data on smuggling load size. The deployment of the automated systems described in the paragraphs above and below will aid in the collection and analysis of this data. While great precision may not be possible, this should result in a clearer understanding of human smuggling dynamics along the southern border in the long term. This collection, analysis, and reporting effort will be carried out with support from the Alien Intelligence Unit at El Paso Intelligence Center (EPIC).

GAO Recommendation 4: The combined systems under the umbrella of ENFORCE and the INS intranet are being linked into one intelligence database. CIRS provides investigators with a way to report intelligence while conducting investigations. ENFORCE modules used by Border Patrol Agents also provide this facility for the Border Patrol. Also, the automated G-392 (Intelligence Report), available through the INS intranet, globally allows all other personnel, (Inspectors, Intelligence Officers, and some Border Patrol Agents) to file specific intelligence reports as needed. The INS is deploying CIRS to field offices having responsibility for conducting alien smuggling investigations. The system is already fully deployed in the Western Region and partially deployed in the Central Region. Completion of the deployment is planned for September 30, 2002. The analytical tool for all of this collected information is the Law Enforcement Analytical Data System (LEADS), provided by a commercial vendor under the brand name of ORIONLeads®, which resides as a tool under the ENFORCE umbrella. The combination of LEADS with CIRS under ENFORCE will give the INS the ability to mine data from interfaced enforcement databases and intelligence and investigative reports, particularly as they relate to smuggling activities and terrorist cells. All intelligence reports are currently required to be entered using the automated G-392. However, once CIRS is deployed, the gaps in the intelligence/information database seen by GAO will be closed.

Last year's milestone, "Develop alien smuggling strategic goals and coordination guidance vis a vis the Migrant Trafficking and Smuggling Coordination Center," has been removed. The Migrant Trafficking and Smuggling Coordination Center was to be set up by the Department of State, but was not; therefore the milestone was removed and INS is taking the appropriate course of action.